Document name:
Sickness and Attendance Procedure
Document type:
Human Resources
Staff group to whom it
applies:
All Staff Within The Trust
Distribution:
The Whole of The Trust
How to access:
Intranet And Internet
Issue date:
August 2016
Next review:
August 2019
Approved by:
Executive Management Team 4 August 2016
Developed by:
HR / Policy Sub Group (consisting of staff and
management representatives)
Director leads:
Director Of Human Resources And Workforce
Development
Contact for advice:
Human Resources
CONTENTS
PAGE
1.
KEY STAGES OF THE PROCEDURE
4
2.
NOTIFICATION PROCEDURE/ RECORDING ABSENCE
5
3.
KEEPING IN TOUCH
6
4.
CERTIFICATION
7
5.
RETURN TO WORK INTERVIEW
7-8
6.
TRIGGER POINTS
8-9
7.
INFORMAL ATTENDANCE MEETING STAGE ONE
9
8.
REVIEW MEETING STAGE 1 & 2& 3
10
9.
FORMAL ATTENDANCE MEETING Stage 2 & 3
11
10
FORMAL ATTENDANCE MEETING Stage 4 FINAL STAGE
12
11.
APPEAL AGAINST OUTCOME OF FORMAL ATTENDANCE
MEETING
13-14
12.
MANAGEMENT OF LONG TERM SICKNESS
14-15
13.
OCCUPATIONAL HEALTH REFERAL
14.
TEMPORARY ADJUSTMENTS
16-19
15.
PERMANENT ADJUSTMENTS
20-21
16.
ILL HEALTH RETIREMENT
16
21
APPENDICES
Appendix 1
Preparing
Report of for
Sickness
Staff Returning
Notification
to Work
Form Following Long Term22-23
Sickness Absence
Appendix 2
Return To Work Interview – Checklist
Appendix 3
Information Log
Appendix 4
Informal Short Term Attendance Meeting (stage 1)
Form
Appendix 5
Invite to Informal (Stage 1) Meeting
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24-25
26
27-28
29
Page 2
Appendix 6
Outcome of Informal Meeting (Stage 1)
30
Appendix 7
Invite to Formal Attendance Meeting (Stage 2 or 3)
31
Appendix 8
Outcome of Formal Attendance Meeting Stage 2/3
32
Appendix 9
Invite to Final Formal Attendance Meeting (Stage 4)
33
Appendix 10
Outcome of Final Formal Attendance Meeting (Stage
4)
34
Appendix 11
Invite to Informal Long Term Sickness Meeting
35
Appendix 12
Outcome of Informal Long Term Sickness Meeting
36
Appendix 13
Invite to Formal Long Term Sickness Meeting
37
Appendix 14
Outcome of Formal Long Term Sickness Meeting
(remaining sick)
38
Appendix 15
Invite to Final Formal Long Term Sickness Meeting
39
Appendix 16
Outcome of Final Formal Long Term Sickness
Meeting
40
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1.
KEY STAGES OF THE PROCEDURE
1.1
There are several procedural stages/reviews which will give the
opportunity for the employee and manager/supervisor to explore the
options available for improving attendance. The following procedure is
intended to ensure that where possible employees return to and
remain in work with acceptable attendance.
It is essential that employees fully understand the purpose of any
meeting or action, and the likely consequences that ill-health/absence
from work can have on their continued employment. It is important
that employees understand clearly that it is a contractual requirement
to attend work regularly, carry out the required duties of the post and
achieve a satisfactory level of performance. Failure to meet these
requirements may result in termination of the employment contract.
When dealing with the individual employee, there should be:





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Sensitive handling of the situation
Consistent approach
Regular consultation and discussion; effective communication is
essential
Advice must be sought from Human Resources when progressing
from Stage 2 to stage 3 attendance meetings
Referral to and advice sought from Occupational Health
Page 4
2.
NOTIFICATION PROCEDURE/ RECORDING ABSENCE
An employee who is unable to report for duty because of sickness must notify
their Manager, or nominated deputy, in accordance with their departmental
procedure. The notification and recording procedure is as follows:
Managing sickness
Sickness Notification / Record Absence
Employee sick
Employee call manager/ deputy in accordance with departmental
notification procedure
Manager available takes
details:
 Reason for absence
 Likely duration
 When next contact will
be made
 (complete form in
Appendix 1

Discuss alternative work,
roles, and adjustments to
get back to work
Record absence on
ESR/ Forms/ ERostering
Manager unavailable take
number & tell employee
manager will call back.
Inform manager
Manager calls back and takes
details:
 Reason for absence
 Likely duration
 When next contact will be made
 (complete form in Appendix 1
Mitigation accepted
(Must be in Hospital or
unable to follow for other
reason)
If reason for absence stress/
musculoskeletal injury make
referral to Occupational Health
Manager must ensure
sick notes are received in
line with Section 4 of
procedure
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Failure to follow notification
procedure:

Sends text / email

Not call in

Not call within specified
time frames
Manager
contact
employee to
determine
reason for
failure to
notify
sickness
correctly
No Mitigation
Make unauthorised
absence:
 Letter to employee
 Notify Payroll
Page 5
3.
KEEPING IN TOUCH
It is important, particularly with long term sickness, that the employee keeps in
touch with his/her manager or supervisor. This is for the following reasons:




It is good practice to maintain regular contact and may facilitate an earlier
return to work
Ascertain whether illness is linked to work and manager can look to take
remedial action
It gives the manager/supervisor the opportunity of giving any additional
support that may be necessary
The manager/supervisor must be able to plan for the continuity of the
service, and ongoing knowledge of the employee’s current state of health
and likelihood of return to work facilitates this
Employees are contractually obliged to maintain contact with their line
manager/supervisor during any period of absence. Managers are also
responsible for maintaining contact to ensure that appropriate support can be
provided. Where an employee fails to maintain contact they should expect the
manager/supervisor to initiate contact as part of their routine management of
the service.
Any such contact must be handled sensitively and supportively by the manager
or supervisor. Where stress is the reason for sickness make an early referral to
occupational health ( see stress policy)
When the employee is aware of their date of return they must inform their line
manager and confirm the date, prior to returning to work. If an employee is
unable to return to work as expected, they must inform their manager.
Where staff are rostered for off-duty it is important that they telephone their
manager to confirm that they are fit otherwise the off-duty day may be recorded
as sick leave.
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4.
CERTIFICATION
The employee must provide medical certification of sickness as follows:
1 – 3 days
No certificate required.
4 – 7 days
Self-certificate must be completed and
given to manager within five days of
seventh day.
Manager to inform
Payroll of certificate received.
8 day onwards
Statement of fitness to work (FMed3
‘fit note’) must be submitted within
seven days of date issued.
Unauthorised absence for any period
When appropriate, certificate
received in timescales.
Work with temporary adjustments
Statement of fitness to work in
adjusted role reviewed or Occupational
Health advice.
not
Were a sick note is not received within 7 days of the date it is due; the
manager must make contact with the employee to ascertain why. If it is found
that there is no reasonable explanation, why the note has not been received
pay must be stopped with immediate effect, and only reinstated from the day
the sick note is received by the manager. The employee will be marked as
unauthorised sick for this period. If the note is backdated without a reasonable
reason only SSP will be paid and OSP will not be backdated.
Examples of a reasonable reason for a delay in receiving a sick note may be:
 Hospitalisation with no relative or friend to send the sick note in for
them
 Falling ill a broad and unable to travel back / note posted abroad and
takes exceptionally long time to arrive
5.
RETURNING TO WORK AND RETURN TO WORK INTERVIEW
The employee must notify the manager when they will be fit to return to work
so that appropriate actions can be taken.
A return to work interview must be conducted by the Line Manager or
appropriate designated deputy, following every episode of sickness, wherever
possible, on the day of return.
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It gives the employee an opportunity to discuss any issues relating to health or
work which may be affecting their attendance. It also shows the employee
they have been missed.
The procedure is as follows:
Sick Employee fit to return
Employee must Contact Manager to inform of date fit to return even if Employee on days
off
Record return to work
1st day back or ASAP, manager to undertaken return to work interview
Interview using lynx/ telephone if
service need doesn’t allow face to
face meeting
Complete RTW form and both
sign it
(Appendix 2)
If hit trigger point refer to appropriate
stage of Sickness Procedure
Interview face to face where possible
Welcome employee back/ discuss fitness to
be at work
 Confirm reason for sickness
 Discuss any adjustments based on fit
note/ Occupational Health
recommendations
 Raise concerns re amount of
sickness/ patterns
 Raise number of episodes of
sickness in relation to trigger points
 Make referral to Occupational Health
if required
Once an employee meets the trigger points they will be invited to an informal
attendance meeting.
6.
TRIGGER POINTS
The Manager should regularly review every employee’s sickness absence
record for whom they are responsible using the absence reports and via the
Trust’s intranet. In particular they should establish if any of their staff have
reached an absence review trigger point as described in section 14 of the
Policy.
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When the employee reaches any of these trigger points they must be invited to
an informal short term sickness meeting (Stage 1).
7.
INFORMAL ATTENDANCE MEETING (STAGE 1)
Once the employee reaches a trigger point they will be invited to an informal
attendance meeting (Stage 1) with their Line Manager to discuss the level of
their absence and its impact upon the department, colleagues and clients.
The procedure is as follows:
Employee hit initial trigger point of:
 Three episodes in rolling 12 months
 Pattern of sickness
 Three episodes of two or more weeks
In a rolling three year period
 Pattern of long term sickness
Line Manager confirms at
RTW that refer to Stage 1
of the Sickness Procedure
Letter sent to invite to informal attendance
Meeting, (Appendix 4)
Take no further action due to
mitigation. Mitigation must be
more than the employee being ill
eg. Ward based infection leading
to closure or assaulted at work
At the meeting, manager:
Outlines details of sickness
record
Give employee opportunity to
provide explanation
Decide on action
Complete appendix 3
Set new trigger points of
 Two episodes in next 12 months
 Continued pattern of sickness
 Further episode of two or more weeks
in next 12 months
 A further period of long term sickness
Continue to monitor and set
triggers
Inform that if they hit the trigger points in 12
months from date of return to work after last
episode they will be referred to Stage 2
Set review meeting at three or four month
period for next 12 months
(Manager and employee only)
Confirm details in letter (appendix 5) within 5 working days of date of meeting to
include:
 The date of the meeting
 Brief statement of discussions including sickness targets and timescales
 The next review date
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8.
REVIEW MEETINGS AT STAGE 1, 2 & 3
A review meeting should be held on a Three/four monthly basis for a period of
12 months between the employee and the Line Manager. This can be
undertaken as a separate meeting or take place during management
supervision. Separate notes must be made for the sickness review element
and signed
The process is:
Following formal attendance meeting manager sets dates
for review
Review meeting takes place
No sickness
at review
No sickness at final
review meeting
Sickness at review
meeting but not
triggered next stage
Congratulate them
on attendance –
remind of triggers
Congratulate them and
inform monitor as normal,
expect attendance level to
be maintained
Remind them that if they
hit triggers will go to next
Stage of formal
attendance process
Sickness occurs
reaching trigger
points
Employee told at return to work interview Refer to next Stage of
formal attendance process i.e. to Stage 2, 3 or 4 (Don’t wait for
review meeting)
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9.
FORMAL ATTENDANCE MEETING (STAGE 2 and 3)
A formal sickness meeting must be arranged when the employee breaches the
trigger points set at the informal meeting Stage 1or formal attendance meeting
stage 3
The procedure is:
Employee hit trigger points given at previous stage
Appropriate manager confirms at return to
work interview or review meeting that
employee to be referred to next stage
attendance meeting
At meeting:

Outlines sickness record

Details of improvements required at previous
meeting

Explain consequence of the absence on
department, service users & colleagues
Letter (appendix 6) sent to invite
employee to meeting 5 working days
before include:

All documents of sickness absence,
including Occupation Health letter,
previous letters and sickness record

Inform entitlement to representation
by Trade Union/ work colleague

Manager normally supported by

HR at Stage 3 only but may have
line manager/another manager
present at stage 2 attendance
hearing
Employee / representative
given opportunity to respond
and present mitigation
Manager / (HR Stage 3) adjourn to consider decision
Mitigation given accepted remain at
current stage, set trigger for
remainder of 12 month period
Confirm in Writing as below
Continue reviews
If hits amended trigger refer back
to same Stage meeting

If hit triggers in monitoring period refer to next
stage Do not wait for review meeting (any
sickness since calling meeting to be counted
towards new triggers
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Appropriate formal attendance warning
given for period of 12 months from date of
last sickness used as trigger
New trigger given from date returned
from last episode of sickness

2 episodes in 12 months

Continued pattern

A further 2 week or more episodes
in 12 months

A period of long term sickness

p
Confirm outcome in letter (appendix 7) in 10 working days
including:

Detail of action taken and warnings

New trigger points

Review timescales

Any action to be undertaken to approve attendance

Consequence of failure to improve i.e. refer next Stage
right of appeal
Page 11
10.
FORMAL ATTENDANCE MEETING (STAGE 4) FINAL STAGE
A formal attendance meeting (Stage 4) should be arranged when the employee
breaches the trigger points set at Stage 3.
Employee at Stage 3 and hit trigger points or
continued long term sickness
Confirmed at Return to Work Interview
review meeting employee to be
referred to Stage 4 attendance
meeting
Meeting to be Chaired by senior
manager (8B or above) not previously
involved, supported by HR
Representative
Line Manager in attendance
Invite letter(appendix 8) sent at least 5 working days prior to
the meeting.
 Right to representation by Trade Union Representative
or fellow worker
 Documents including sickness record, previous letters,
Occupational Health information
 Informed outcome could be dismissal
 A management report outlining the details of the process
followed to date




At the Meeting:
Line Manager presents report
Employee/Representative present mitigation
All including Panel may ask any questions of clarity
Panel adjourn to make decision
Accept mitigation factors related to
disability/Maternity/work related
illness
Set new triggers and review period
(Usual still under Stage 3)
Confirm in writing
Hit trigger refer back to Stage 4
Formal Attendance Meeting
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Decision to dismiss on grounds of
unsatisfactory attendance/
Capability
Confirm outcome in writing within
ten working days (appendix 9)
State right of appeal
Page 12
11.
APPEAL AGAINST OUTCOME OF FORMAL ATTENDANCE MEETING
An appeal against a formal attendance warning must be made in writing
within five working days of the date of the outcome letter to the next level of
Manager. The employee will have the right to be accompanied by a trade
union representative or a fellow worker not acting in a legal capacity
The process is:
Appeal received within five working days
of outcome letter to next level manager
for Stage 2 and 3 and ten working days
for Stage 4
Appeal against dismissal
Appeal Stage 1, 2, 3 next
level manager chair’s the
meeting supported by HR
Heard by Sub Committee of
Trust Board Appeal
Manager and HR review the
details of the sickness meeting,
attendance record and report
document from original
manager and Occupational
Health report etc
Manager who dismissed
present the documentation and
reason for the dismissal
Individual attend and
present their information
and mitigation
Employee and representative
present the case/mitigation etc
Panel make decision
Accept mitigation
refer back to earlier
stage and set
triggers
Panel make decision
Uphold warning
Reinstate but can
put back onto
Stage 3 with new
triggers
Uphold
dismissal
Confirm in writing
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An appeal against the dismissal on the grounds of unsatisfactory attendance
should be made within ten working days of the date of the outcome letter to
the Director of Human Resources and Workforce Development.
The appeal against dismissal will be heard by a sub-committee of the Trust
Board. The employee may be represented at the appeal by a trade union
representative or fellow worker not acting ins a legal capacity. The appeal
will be conducted in line with section 15 and appendix 2 of the policy.
12.
MANAGEMENT OF LONG TERM SICKNESS
Informal/Formal Action
It is important when dealing with long term sickness that there is on-going,
regular communication and consultation between the Manager and
employee throughout their absence and at every stage of the procedure.
The Manager and employee will agree the frequency with which they will
make contact. Details of the contact, whether by personal visit, telephone or
letter should be documented.
If the employee is too ill to attend a meeting at work, the manager should
seek to agree a home visit.
Where, under exceptional circumstances, the employee is too ill to meet at
all, the Manager can telephone or write to obtain the information or defer the
meeting to a later date.
A Human Resources Advisor will not routinely be present at the routine
meetings. The employee may be accompanied by a trade union
representative or fellow worker not acting in a legal capacity during the
formal stages.
If taking all circumstances into account, the Manager takes a view that it is
too early to make a referral to Occupational Health, they will arrange to meet
the employee at a later date to review the position again.
Informal long-term sickness reviews within 2 months of commencing
sickness. The meetings will become formal if the employee remains sick for
a period of 4 month with no date of return agreed or when medical evidence
confirms no date of return is predicted.
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The process is as follows:
Employee notify will be or is
absent for more than four
weeks/28 days
Manager keeps in touch and
makes referral to Occupational
Health
Returns to normal duties
in timescales – manage
as per triggers
Invite (Appendix 10) employee
to informal long term sickness
meeting to discuss:
 Reason for absence
 Likely duration
 Adjustments that would
allow a return work or to
temporary alternative work
 Discuss planned return to
work
Able to do
adjusted/alternative role
for temporary period
Remains sick
Continues beyond
timescale to be unfit for
own role
Invite to formal long
term sickness meetings
(appendix 11), as
appropriate
Consider permanent adjustments to
own role (banding and JD may be
affected)
Able to return to
normal duties
Reasonable Adjustments
not possible
Put on at risk
register
Suitable re
deployment
found
Return to work
No suitable found
Permanently unfit to return to
own post
Invite to final formal sickness
Meeting (appendix 12)
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Adjustments possible
Return to
work
Not fit to return to
any role in time
scales
Invite to final formal long
term sickness Meeting
(appendix 12)
Manage under triggers
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13.
OCCUPATIONAL HEALTH REFERRAL
There are several possible outcomes from the Occupational Health referral
(the implications of these are covered in more detail below.
Return to Work - the employee is fit to return to their present job, either
immediately, or in the very near future. This may include a phased return,
particularly if this enables an earlier return to work than would otherwise
have been the case.
Adjustment to Duties or Hours of Work - the employee would be fit to
return to their current job with temporary or permanent adjustments to their
duties or working hours.
Redeployment - the employee is not fit to return to their current job, but
could work in a job that accommodated their health problems.
Termination of Contract - the employee is unfit to return to work,
permanently or for the foreseeable future, necessitating the termination of
their contract on medical incapacity grounds. Under these circumstances the
employee may be eligible to apply for ill health retirement, under the terms of
the NHS Pension Scheme.
In exceptional circumstances, it may be an option to refer an individual
outside of the normal referral structure for an expert opinion is necessary
which may incur costs. Where it can be demonstrated that this is cost
effective either in terms of preventing absence from work or enabling a return
to work a Senior Manager can approve this with any resultant costs being
identified from the relevant budget.
14.
TEMPORARY ADJUSTMENTS
Temporary adjustments should be considered for all employees to ensure
they can attend work as soon as possible or to prevent absence in the first
instance. While on temporary adjustments the individual will receive their
normal pay except where expressly stated.
Where an extension of the adjustments is required they must be authorised
by a General manager. This can only be authorised in exceptional
circumstances up to a maximum of 12 weeks and where there is a clear
indication that a return to the employees role will be possible within that
timescale.
While on temporary adjustments no overtime or bank shifts may be
undertaken.
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Temporary adjustments can include:
Phased return
A phased return is only to be used when an
employee has had an absence due a
serious Physical or mental impairment that
requires this or where it will aid a
employee to return to work earlier than
would otherwise be possible
Where it means the employee can return to
work earlier than expected as a result of a
phased return this should be considered. In
such circumstance the phased return may
be extended for a period of 4 weeks with an
occupational health recommendations
examples for Phased return may be that an
employee works only part days initially
building up to their contracted hours
A phased return will normally be for a
maximum of two weeks only and it is
expected that the minimum of 50% of their
contracted hours will be worked in week 1
with full contracted hours worked in week 3.
Where an employee has been off sick for a
period of at least 3 months or more with a
serious illness the phased return can be
extended to a period of 4 weeks when
recommended by occupational health. (With
full contracted hours worked by week 5)
Part time work/ working shorter Reduce hours to enable the employee to
days/shifts
attend work and contribute to the
department. This should be for a maximum
of 12 weeks. The employee will be paid
their full contractual hours for a period of up
to 4 weeks and then will receive pay based
up on the hours worked
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Adapt a modified workload
Work on a supernumerary basis
Adjust job role to remove tasks that
the employee is unable to do on a
temporary basis this is for a maximum
of a 12 week period
Not place in shift numbers as the
limitations on the employee are so
great it would prevent them from
undertaking a large proportion of their
role but having the employee at work
is beneficial for their recovery or
contribution to the department This is
for a maximum of 4 week period
This may be used in conjunction with a
phased return
Move to an alternative vacant post
Look at vacant posts in the
department/organisation and allow a
temporary move to a role which they
can contribute when health prevents
them undertaking their usual work.
This should be with a return to their
usual post within 12 weeks unless
extended with the agreement of the
General manager for a further 12
weeks giving a total of 24 weeks
Work at a different site/place
If injury prevents the employee getting
to usual place of work consider
working from a site nearer home/from
home if possible this is for a maximum
of 12 weeks with an extension of a
further 12 weeks with the agreement
of the general manager
Temporary equipment
It may be that a specific piece of
equipment/adaptation
may
be
necessary to enable an employee to
return to work i.e. Dictaphone or the
support of an admin person
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Manager meets with
employee during a review
meeting at notification/call
Process to be followed:
tc
Discuss with employee what
they are able to do
Manager assesses possibility
of adjustments and gets
Occupational Health input if
needed
Discusses options with
employee
Employee returns to
work with
adjustments for up
to 12 weeks
Options not available or
suitable
Employee refuses adjusted
role
Consider stop Occupational
Sick Pay
At 12 weeks or before
returns to normal post
Needs longer
on adjustments
Remains sick and is
managed under long term
sick/short term sickness
and formal meeting
process/triggers
Manager refers to
General Manager for
decision
Agrees to extension
Not agreed
Return to normal role
After or before end of
extended 12 weeks
Unable to return to
normal role
Look for permanent
adjustments or
alternative role
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15.
PERMANENT ADJUSTMENTS
In some cases it may be appropriate to consider making reasonable
permanent adjustments to the employee’s duties or work arrangements.
Such adjustments may include those outlined previously as temporary
adjustment.
It is particularly important to explore this option thoroughly when an
employee’s sickness is as a result of a disability, as defined under the
Equality Act 2010. To conform to the requirements of the Act, careful
consideration needs to be given to making whatever reasonable adjustments
are necessary to accommodate a disabled employee, if it is possible to do so
in line with service need.
Managers will need to assess the feasibility of making the required
adjustments for the service, colleagues and the employee, taking advice
from Occupational Health, the HR Department and other specialist advisers
as necessary. The Manager will meet with the employee to discuss with
them the results of this assessment and will record the outcome of the
meeting to them in writing.
Any permanent adjustments will result in the employee being paid the
appropriate band for the post undertaken.
Suitable alternative employment will usually be work at the same or lower
band however as there is no protection arrangements for adjustments as a
result of ill health an employee can opt to accept work on any lower band
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The process is
Employee unable to undertake fill duties of
role/hours etc for foreseeable future
Seek advice from Occupational Health if
not already done so on which employee
can do
Seek advice from HR or other
specialist where necessary
Meet employee to discuss options
available, ensure aware will be paid
rate for adjustments/alternative role
Adjustments possible in own
role
Amend job description and have
banded if necessary
No adjustments possible
Place on at risk register for
minimum of four weeks
Move onto amended post
No alternative
found
Alternative found
Move to final formal sickness meeting
and serve notice
Move into role and
pay amended
accordingly
16.
ILL HEALTH RETIREMENT
To qualify for ill health retirement, the employee must have at least two years
membership in the NHS Pension Scheme and be permanently incapacitated
from their normal job. If both apply, the Occupational Health Department
may make a recommendation for ill health retirement, but approval remains
at the discretion of the NHS Pensions Agency.
Ill health retirement can take several months to process, so the application
should be made at the earliest opportunity.
This is a separate process from the trust decision to dismiss an employee on
ill health grounds.
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APPENDIX 1
REPORT OF SICKNESS NOTIFICATION FORM
NAME
Band or designation
Date/Time of Call
Call Taken By
Made By (if not employee)
Reason
Date Became Unfit
Last Day Worked
Reason for Absence
Anticipated Length of Absence
Expected Return Date
Date to Contact Manager
Referral to Occupational Health Made
(consider if anticipated four weeks
sickness)
Consider Alternative Duties/Roles for
Limited Period – give details
Details
Suggested alternatives accepted by
Employee
YES / NO / N/A
Manager Name
Signature
Print
Date
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APPENDIX 1
(continued)
Have they been off eight days or more? (If so, a fit note is required)
Has the GP’s fit note been received?
YES / NO
YES / NO
Does it detail what can do and considered this?
Detail any conversations/correspondence with Employee
Date
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Time
Details (including name of manager involved
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APPENDIX 2
RETURN TO WORK INTERVIEW – CHECKLIST
This form lists the main aspects that should be covered at a return to work
interview
To be completed by the line manager (or designated person where appropriate) as
soon as practicably possible following the return to work discussion with the
employee.
Name of Employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Department/Service Area. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Absence: From . . . . . . . . . . . . . . . To . . . . . . . . . . Reason(s) . . . . . . . . . . . . . . .
(Insert  and details in each box, where applicable)
Welcome employee back and update as necessary
Discuss employee’s health and reasons for absence
Give Details
Discuss if they have a disability, check if sickness work related
Details
Outline trigger points and need to ensure regular attendance
Detail
Detail adjustments required/Period to be implemented
Any points to note arising out of the discussion, e.g. Arrangements for
help and support such as:
Access to counselling
Workplace adjustments
Referral to Occupational Health
(use referral form)
Other, updates, please specify below
Comments
Include reasons given by employee regarding their absence and brief record of your
discussions – continue on a separate piece of paper or this form can be downloaded
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Agree this is factually correct and put the form on the individual’s personal file
Signed . . . . . . . . . . . . . . . . . . . . . (Manager)
Date. . . . . . . . . . . . . . . . . .
Signed . . . . . . . . . . . . . . . . . . . . . (Employee)
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APPENDIX 3
DIARY SHEET/INFORMATION LOG OF EVENTS
Employee Name
DATE
Action Taken / Event / Reason for any Delay etc
This sheet is to be used and kept by the manager to record progress, delays, ,
phone calls, reasons for delays meetings, letters sent, cancelations of meetings etc.
It will also enable a timeline to be produced report Stage
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APPENDIX 4
Confidential:
Informal Short Term Attendance Meeting Form (Stage 1)
All items to be completed by the line manager conducting the informal meeting.
Name of Employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Job Title . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date Started with Trust . . . . . . . . . . . .
Department . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Recent absences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Total Days this Period . . . . . . . . Total Days over rolling 12 months. . . . . . . . . . . . .
Total Occasions this Period . . . . . . . . . . . . . . . . . . . . .
Details of Absence Record.
Refer the employee to their annual leave card/or available e-rostering information
___________________________________________________________________
Date, place and time of meeting:
Present:
NB Representation is not expected as it is a 1:1 between the individual & their
manager
___________________________________________________________________
Check List:
Share all appropriate documentation, check accuracy (including absences over
last 3 years)
Explain the purpose of the meeting as part of the Policy. See the Summary of the
Sickness Absence Process regarding trigger points and expectations.
Explore the reasons for absence, e.g. they may be the result of a medical
condition; domestic difficulties; problems with work or working relationships.
Encourage the employee to engage in a two-way flow of information.
Reassure the employee that the purpose of the meeting is to assist him/her to
attain the required levels of attendance.
Offer help, advice and practical action eg seeing GP, accessing counselling
advice, referral to Occupational Health, discussions regarding working
arrangements. Particularly regarding adjustments if the individual is disabled. See
Access to Work Scheme:
https://www.gov.uk/access-to-work/overview
Discuss the consequences of the absence upon work load and colleagues.
Agree the action required by both parties, if any, to achieve an improvement
in attendance and the review period (and review date) as necessary.
Outline the action which may follow if there is no sustained improvement,
i.e. the triggers which would lead to the Formal Stage 2. Ensure they have
access to the policy (a paper copy or link to the document store)
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If the individual is in their first year of service with the Trust, stress the importance
the Trust attaches to a culture of regular attendance.
Note comments raised by the individual.
Managers comments including Recommendations For Future Action/Referrals
(Refer to the appropriate section of the Policy/Procedure before recommendations
are made).
__________________________________________________________________
Decision/Action
Ensure a copy of this completed form is sent to the individual within 5 working
days of the meeting and that it also includes the actions and the next review
date in 3-4 months. Place a copy of this form on the individual’s personal file
Signed (Employee) . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date. . . . . . . . . . . . . . . . . . .
Signed (Manager). . . . . . . . . . . . . . . . . . . . Designation . . . . . . . . . . . . . . . . . . . . . .
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APPENDIX 5
INVITE TO INFORMAL (STAGE 1) MEETING
Dear
I write following our previous discussions at your return to work interview, regarding
the concerns about your attendance at work.
You have now had (detail trigger points) episode(s) of sickness which has triggered
an informal Attendance Meeting Stage 1.
I would therefore like to meet with you at (time) on (date) in (place).
At the meeting I wish to discuss with you your current level of absence from work,
the impact this is having on the department/service users and colleagues and any
further help and support that can help you achieve a satisfactory attendance record.
I have enclosed details of your sickness record and copies of your return to work
interviews and Occupational Health/Management letters for your information.
As this is an informal meeting this is a discussion between the two of us and as such
there is no right to bring a trade union representative or work colleague
Should you have any queries with regard to this letter please do not hesitate to
contact me.
Yours sincerely
Manager
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Appendix 6
OUTCOME OF INFORMAL MEETING (STAGE 1)
Dear
I write to confirm the outcome of the Informal Attendance Meeting (Stage 1) held on
(date).
At the meeting we discussed the concerns about your attendance record and the
reasons you had been absent from work.
(Detail discussion)
In view of your attendance record I confirmed that you have been set the following
new trigger points with effect from (insert date of return from last episode
included in this review) for a 12 month period




A further two episodes of absence in a 12 month period
A continued pattern of sickness
A further episode of two weeks or more in the next 12 months
A further episode of long term sickness
While I trust that your attendance will now improve should you fail to make this
improvement and reach any of the specified trigger points you will be invited to a
Stage 2 formal attendance meeting in line with this procedure
Your sickness will now be monitored and I have arranged to meet with you at (Time)
on (date) in (place) to discuss your progress
I hope that there will now be a significant improvement in your health and attendance
but should you feel at any time I might be of assistance in this please do not hesitate
to contact me.
You should also be aware that you may access Occupational Health at any time who
have a range of wellbeing initiatives available including staff counselling services.
Yours sincerely
Manager
Job Title
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Appendix 7
INVITE TO ATTENDANCE MEETING (STAGE 2 or 3)
Dear
I write following the previous discussions with you regarding the concerns about your
attendance at work.
Following the Stage 1/2 Formal Attendance Meeting you have now had (detail trigger
points) episode(s) of sickness which has triggered a Formal Attendance Meeting
Stage 2/3.
I would therefore like to meet with you at (time) on (date) in (place).
At the meeting I wish to discuss with you your current level of absence from work,
the impact this is having on the department/service users and colleagues and any
further help and support that can help you achieve a satisfactory attendance record.
I have enclosed details of your sickness record and copies of Occupational
Health/Management letters for your information.
Stage 3 only – I will be accompanied at the meeting by ( insert) an HR
Representative
You may be accompanied by a Trade Union Representative or fellow worker not
acting in a legal capacity.
Please confirm your attendance with (insert).
Yours sincerely
Manager
Job Title
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APPENDIX 8
OUTCOME OF FORMAL ATTENDANCE MEETING STAGE 2/3
Dear
I write to confirm the outcome of the Formal Attendance Meeting (Stage 2/3) held on
(date). Also present at the meeting was (insert details).
At the meeting we discussed the concerns about your attendance record and the
reasons you had been absent from work.
(Detail discussion)
In view of your attendance record I confirmed that you have been issued with a
first/second formal attendance warning for a period of 12 months with effect from
(insert date) to (insert date).
You were also informed that the following trigger points will apply during the 12
month period:



A further two episodes of absence in a 12 month period
A continued pattern of sickness
A further episode of two weeks or more in the next 12 months
While I trust that your attendance will now improve should you fail to make this
improvement and reach the specified trigger points you will be invited to a Stage 3/4
of the Attendance Policy/Procedure.
Insert if Stage 3
I must advise you that should you be invited to a Stage 4 attendance meeting you
may be dismissed from the Trust on the grounds of capability (attendance).
I hope that there will now be a significant improvement in your health and attendance
but should you feel at any time I might be of assistance in this please do not hesitate
to contact me.
You should also be aware that you may access Occupational Health at any time who
have a range of wellbeing initiatives available including staff counselling services.
Should you wish to appeal against this warning you should write to (insert) within five
days of the date of this letter outlining the reasons for your appeal.
Yours sincerely
Manager
Job Title
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Appendix 9
INVITE TO FINAL ATTENDANCE MEETING (STAGE 4)
Dear
I write following the previous discussions with you regarding the concerns about your
attendance at work.
Following the Stage 3 Formal Attendance Meeting you have now had (detail trigger
points) episode(s) of sickness which has triggered a Final Formal Attendance
Meeting Stage 4
I would therefore like to meet with you at (time) on (date) in (place).
At the meeting I wish to discuss with you your current level of absence from work
and the impact this is having on the department/service users and colleagues
I have enclosed details of your sickness record and copies of Occupational
Health/Management letters for your information along with a report from your
manager outlining the details of your attendance and support offered to date.
I will be accompanied at the meeting by (insert) an HR Representative
You may be accompanied by a Trade Union Representative or fellow worker not
acting in a legal capacity.
I must advise you that an outcome of the Stage 4 final attendance meeting may lead
to you been dismissed from the Trust on the grounds of capability (poor attendance).
Please confirm your attendance at the meeting with (insert) on (insert phone
number)
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APPENDIX 10
OUTCOME OF FINAL FORMAL ATTENDANCE MEETING (STAGE 4)
Dear
I write to confirm the outcome of the Final Formal Attendance Meeting (Stage4) held
on (date). Also present at the meeting was (insert details) and you were supported
by (Insert).
At the meeting we discussed the concerns about your attendance record and the
reasons you had been absent from work. You have had (detail sickness record)
which impacts on the service, the service users and your colleagues.
(Detail discussion including mitigation provided)
Unfortunately despite the previous meetings and written correspondence your
sickness absence rate has failed to improve to the standard required by the Trust.
Having considered all the facts and circumstances, (and your mitigation put forward
by you and your representative) you were advised that my decision was to dismiss
you from your employment with South West Yorkshire Partnership NHS Foundation
Trust with effect from (date) on the grounds of capability (continued sickness)
This letter, therefore, confirms the termination of your employment. In accordance
with the Employment Rights Act 2002, the Trust is required to issue you with (length)
weeks’ notice of termination of your employment. You are not required to work this
period of notice and, therefore, will receive a sum of money equivalent to (length)
weeks’ pay in lieu of this notice. You will also receive payment in lieu of any annual
leave accrued and not taken by the date of your termination.
Your last day of employment will be (last day)
You have the right to appeal against this decision and if you wish to exercise this
right you should do so in writing to Alan Davis, Director of Human Resources and
Workforce Development at Fieldhead Hospital, Ouchthorpe Lane, Wakefield WF1
3SP within seven working days of the date of this letter i.e. by (time) on (date)
explaining the basis on which you are appealing.
Yours sincerely
Manager
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APPENDIX 11
INVITE INFORMAL LONG TERM SICKNESS MEETING
Dear
I am sorry you have been experiencing ill health since (date). As you have now
been off sick for a number of weeks I would like to meet with you informally to
discuss your progress, if an occupational health referral is required and any support
that that can facilitate a return to work.
I would therefore like to meet with you at (Time) on (Date) in (Place).
The meeting is informal so will take place between ourselves at this stage.
Should your medical condition make it difficult to attend the trust premises please
contact me to arrange a telephone meeting or home visit.
I hope you are feeling better than when we last spoke
Yours sincerely
Manager
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APPENDIX 12
OUTCOME OF INFORMAL LONGTERM SICKNESS MEETING
Dear
Thank you for attending the informal long term sickness meeting on (insert date) with
myself
At the meeting we discussed that you have been absent from work for (number of
weeks/days) due to ill health and you explained that is expected that your absence
will continue for a further period of (insert length)
Please insert as appropriate*
*We agreed that a referral to occupational health should be made now/in X weeks so
that I can fully understand any support that can be offered to aid a return to work.
Please find enclosed the copy of the occupational health referral for your reference.
*We discussed the possibility of a return to work to alternative duties / an alternative
post as a solution to aid a return to work as soon as possible to remaining absent.
(Insert discussion and outcome)
*You confirmed that a predicted return to work date is (insert date) and we agreed
that you would contact me on (insert date) to update me on the situation.
*You confirmed that a return to work will not be possible during the next 8 weeks
even with the alternatives proposed and the support discussed. I will therefore
contact you again once a report is received from occupational health to discuss your
health progress.
In the meantime you should ensure contact is maintained with me/your line manager
in line with the attendance policy and should your health situation change please
contact me to discuss this?
Yours sincerely
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APPENDIX 13
FORMAL LONG TERM SICKNESS MEETING INVITE
Dear
I am sorry you have been experiencing ill health since (date). As you have now
been off sick for (insert number) weeks I would like to meet with you formally to
discuss your progress in relation to a return to work and the occupational health
report dated (insert date)
I would therefore like to meet with you at (Time) on (Date) in (Place).
Present at the meeting will be (insert second manager or HR representative) or I will
conduct the meeting on my own. You are entitled to be accompanied to the formal
meeting by a trade union representative.
Should your medical condition make it difficult to attend the trust premises please
contact me to arrange a telephone conference meeting or home visit.
*I must inform you that an outcome of this meeting may be to referrer you to a final
formal long-term sickness meeting which could ultimately lead to your dismissal from
the trust on ill health grounds (capability)
Please confirm your attendance at the meeting with (insert) on (Insert telephone)
Yours sincerely
Manager
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APPENDIX 14
OUTCOME FORMAL LONG-TERM SICK MEETING (remaining off)
Dear
I write to confirm the outcome of the Formal Long term sickness Meeting held on
(date). Also present at the meeting was (insert details).
At the meeting we discussed that you have been absent from work for (number of
weeks/days) due to ill health and you explained that it is expected that your absence
will continue for a further period of (insert length)
I explained that I have received an occupational health report date (insert date)
which has stated (insert summary details)
Insert as appropriate
*We discussed the possibility of a return to your post with an adjustment/phased
return (insert details and outcome of discussion)
*we discussed a possibility of return to an alternative Post for an interim period to aid
a return to work. (Insert details)
*While your sickness absence from work is expected to continue for the next (insert
details I am confident that a return to work will be possible by (Insert date) as
confirmed by yourself and occupational health. I will therefore arrange to meet with
you in (insert when) to revaluate the situation. In the mean time I will ensure that you
are re assessed by occupational health to inform the next meeting outcomes.
*I also need to inform you that your sick pay will reduce to half pay/no pay on (Insert
date)
*Unfortunately your sickness absence is expected to continue with no possibility of a
return to your post in the near future. While we have considered alternative duties
and posts to aid a return to work this has not been possible due to (insert reason)
Based upon your health status and length of time you have been absent from work I
have no alternative but to progress your case to a final formal long-term sickness
meeting details of which you will receive in due course.
In the mean time you will be entered on to tier 2 of the at risk register until the
meeting takes place and a decision is made.
Yours sincerely
Manager
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APPENDIX 15
FINAL FORMAL LONG TERM SICKNESS MEETING INVITE
Dear
I am sorry you have been experiencing ill health since (date). As you have now
been off sick for (insert number) weeks and there is no foreseeable return to work
I would therefore like to meet with you at (Time) on (Date) in (Place).
I will conduct the meeting supported by (HR representative).
You are entitled to be accompanied at meeting by a trade union representative or a
work colleague.
Please find enclosed a copy of a report detailing your sickness to date that will be
presented at the meeting by (insert manager)
You will have an opportunity at the meeting to present any information that is
relevant to your health status and may have an impact on my decision making
I need to advice you that a possible outcome of this meeting could be your dismissal
from the Trust on the grounds of ill health (capability)
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APPENDIX 16
Outcome of final formal long term meeting
I am writing to confirm the outcome of the final formal long term sickness meeting
held on (date). The meeting was heard by myself and (name HR rep) and the details
of your sickness was presented to us by (insert Manager) you were represented by
(insert representative)
At the meeting I heard (Include a summary of the sickness to date, occupational
health information, including options discussed, steps taken so far etc.)
You and your representative detailed (insert details of mitigation, medical
information)
Having reviewed your continued sickness, in the light of the reports provided by the
Occupational Health Physician, and following the discussions with you, I write to
confirm my decision to terminate your employment as (enter post title) on the
grounds of ill health (capability). In accordance with the Employment Rights Act
2002, the Trust is required to issue you with (length) weeks’ notice of termination of
your employment, therefore your effective date of termination will be *(enter date
notice expires) following the expiration of your notice period. Note this will be
different if pay in lieu of notice is given.
You are entitled to receive payment for any outstanding annual leave entitlement for
the current leave year (plus any outstanding working time directive annual leave for
leave year (insert) (*this must only be for a period up to 18 months from date of
termination and less any leave taken)
.
You have the right to appeal against this decision and if you wish to exercise this
right you should do so in writing to Alan Davis, Director of Human Resources and
Workforce Development at Fieldhead Hospital, Ouchthorpe Lane, Wakefield WF1
3SP within seven working days of the date of this letter i.e. by (time) on (date)
explaining the basis on which you are appealing.
Yours sincerely
Manager
Designation
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